GLOBAL COMPLIANCE Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
The Control Room, part of the Compliance Division, is seeking a compliance officer for a role in Hong Kong. The Hong Kong Control Room is one of seven Goldman Sachs Control Rooms globally (including Jersey City, Salt Lake City, London, Sydney, Tokyo and Bengaluru). The Control Room is primarily responsible for preserving the integrity of the Firm's information barriers by monitoring and controlling the flow of confidential information between the Firm's advisory side businesses and public side businesses.
Interacting with the Investment Banking Division, Global Markets Division, Consumer Wealth Management Division, and other business divisions in order to maintain the Firm's Restricted Trading List, Confidential Lists and other information control lists
Liaising with Legal and other Compliance teams in order to monitor and/or restrict sales, trading and/or research activities pursuant to certain legal, regulatory and/or policy considerations
Reviewing research publish by the Global Investment Research Division to ensure compliance with certain legal and regulatory obligations
Applying the Global Research Settlement rules and Firm's policies to monitor and facilitate communications between Equity Research and Investment Banking personnel
Working with the Business Selection & Conflicts Resolution Group (BSCRG) to facilitate approval for certain firm and client transactions and subsequent risk management activities
Working with cross regional team members on internal enhancement projects
Undergraduate degree with minimum of 2-5 years of compliance or legal-related experience in financial services industry preferred
Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules
Excellent verbal and written communication skills
Proactive and willing to take on issues/responsibilities that require focus and determination
Ability to work as a member of a team in a fast-paced environment
Detail-oriented with ability to multitask, organize and prioritize
Ability in using MS Excel macro and programming with VBA would be preferred